NISM-Series-VII Übungsmaterialien & NISM-Series-VII Lernführung: NISM Series VII - Securities Operations and Risk Management Certification & NISM-Series-VII Lernguide

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NISM NISM-Series-VII Exam Syllabus Topics:

Section	Weight	Objectives
Regulatory Framework	15%	- SEBI Act, Rules and Regulations - Code of conduct and ethical practices - Compliance requirements for intermediaries
Market Microstructure	12%	- Price discovery and market efficiency - Trading mechanisms and order types - Market indices and their calculation
Clearing and Settlement	15%	- Settlement cycle and mechanisms - Clearing process and roles of clearing corporations - Delivery versus payment and settlement guarantee
Trading Operations	15%	- Order management and trade execution - Front office functions and processes - Client onboarding and KYC norms
Securities Market Overview	10%	- Types of securities and products - Market participants and their roles - Structure and segments of Indian securities market
Technology in Securities Markets	8%	- Emerging technologies and their impact - Data security and business continuity - Systems for trading, clearing and settlement
Investor Protection	7%	- Mechanisms for dispute resolution - Investor education and awareness initiatives - Investor rights and grievances redressal
Risk Management and Margining	18%	- Risk monitoring and control measures - Margining systems and methodologies - Types of risks in securities operations

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NISM-Series-VII Unterlagen mit echte Prüfungsfragen der NISM Zertifizierung

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NISM Series VII - Securities Operations and Risk Management Certification NISM-Series-VII Prüfungsfragen mit Lösungen (Q154-Q159):

154. Frage
According to the framework for the Core Settlement Guarantee Fund (Core SGF), how is the Minimum Required Corpus (MRC) for a segment determined for the upcoming month?

A. It is calculated as 25% of the liquid net worth of the Clearing Corporation plus the total Base Minimum Capital collected from members.
B. It is determined by the Risk Management Committee based on the highest single day loss observed in the last one year.
C. It is fixed annually by SEBI based on the projected volume and turnover of the Clearing Corporation.
D. It is the simple average of the daily stress test losses of the preceding month, capped at 15% of the total open interest.
E. It is the higher of the average of all daily worst-case loss numbers determined from stress tests of the preceding month and the segment MRC as per the previous review.

Antwort: E

Begründung:
The source specifies that the MRC shall be fixed for a month. By the 15th of every month, the CC reviews/determines the MRC for the next month based on daily stress tests of the preceding month. Specifically, the MRC for the next month shall be the 'higher of the average arrived at as (v) above [Average of all the daily worst case loss numbers] and the segment MRC as per previous review.'

155. Frage
If a clearing member fails to fulfill the margin obligations, the clearing agency has the authority to initiate disciplinary actions without further notice. Which of the following is explicitly listed as a potential action in such a scenario?

A. Permanent cancellation of the certificate of registration.
B. Mandatory conversion of the clearing member to a trading-only member.
C. Withdrawal of trading facilities and/or clearing facility and close out of outstanding positions.
D. Transfer of client positions to the Investor Protection Fund.
E. Seizure of the member's personal assets outside the clearing system.

Antwort: C

Begründung:
Non-fulfilment of margin obligations allows the clearing agency to, at its discretion and without further notice, initiate disciplinary action inter-alia including withdrawal of trading facilities and/or clearing facility, close out of outstanding positions, imposing penalties, collecting appropriate deposits, and invoking bank guarantees/fixed deposit receipts.

156. Frage
In the context of the securities market structure, identifying the correct classification of an issue is critical for regulatory compliance. If an issuer raises resources by issuing shares to a select group of persons rather than the general public, how is this issuance technically classified?

A. Rights Issue
B. Follow on Public Offer (FPO)
C. Bonus Issue
D. Initial Public Offer (IPO)
E. Private Placement

Antwort: E

Begründung:
According to the source, resources in the primary market can be raised through a public issue or private placement. If the issue is made to a select group of people, it is termed as a Private Placement. A public issue is when anybody and everybody can subscribe. A Rights Issue is for existing shareholders, and a Bonus issue is without cost involved.

157. Frage
Under the framework for validation of instructions for Pay-In of securities, which of the following scenarios results in the immediate rejection of the transfer instruction by the Depositories?

A. When the quantity in the instruction is less than the obligation provided by the Clearing Corporation.
B. When the instruction is initiated by a Power of Attorney (POA) holder instead of the client directly.
C. When there are discrepancies in details like UCC, TM ID, CM ID, or ISIN between the instruction and the obligation data.
D. When the quantity in the instruction is exactly equal to the obligation provided by the Clearing Corporation.
E. When the instruction is received on T+1 day instead of T day.

Antwort: C

Begründung:
The source states that under 'Unmatched Instruction': 'In case of discrepancies in details like UCC, TM ID, CM ID, ISIN etc., between instruction and obligation, such transfer instructions will be rejected by the depositories.'

158. Frage
Identify the correct combination of the minimum Net Worth requirement for a Portfolio Manager and the minimum investment amount they must accept from a client (excluding accredited investors/co-investment managers) as per current regulations.

A. Net Worth: Rs. 5 Crore; Minimum Investment: Rs. 25 Lakh
B. Net Worth: Rs. 10 Crore; Minimum Investment: Rs. 1 Crore
C. Net Worth: Rs. 5 Crore; Minimum Investment: Rs. 50 Lakh
D. Net Worth: Rs. 2 Crore; Minimum Investment: Rs. 25 Lakh
E. Net Worth: Rs. 3 Crore; Minimum Investment: Rs. 50 Lakh

Antwort: C

Begründung:
The applicant must fulfill the net worth requirement of not less than Rs. 5 Crores. The portfolio manager shall not accept from the clients, funds or securities worth less than Rs. 50 lakh.

159. Frage
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